RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
L••• R•••••••• R•••••
- E•••••• A••••••• G••••• L•• BD affiliated currentsince Oct 6, 2022 · Houston, Tx
- J••• M••••• S••••••••• L•• wirehouseAug 2, 2018 to Sep 28, 2022 · Houston, Tx
- L•• F•••••••• L•• BD affiliatedJul 10, 2017 to Jul 31, 2018 · Houston, Tx
- C•••••• O•• A•••••••• L•• formerJul 21, 2015 to Jun 21, 2017 · Spring, Tx
- J••• M••••• S••••••••• L•• to E•••••• A••••••• G••••• L••left Sep 28, 2022, registered Oct 6, 2022 (8 days) · Wirehouse to affiliated broker-dealer or bank
- L•• F•••••••• L•• to J••• M••••• S••••••••• L••left Jul 31, 2018, registered Aug 2, 2018 (2 days) · RIA to wirehouse
- C•••••• O•• A•••••••• L•• to L•• F•••••••• L••left Jun 21, 2017, registered Jul 10, 2017 (19 days) · Other
- L••• R•••••••• R••••• left J••• M••••• S••••••••• L•• for E•••••• A••••••• G••••• L•• (registered 2022-10-06)Sep 28, 2022 · Advisor changed firm · fact
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address